September 21, 2017 - Investor Advisory Panel - Agenda

INVESTOR ADVISORY PANEL
MEETING AGENDA


Meeting Date:

Thursday, September 21, 2017, 9:30 am – 2:50 pm


Location:

Ontario Securities Commission, 20 Queen Street West
Commissioners’ Boardroom, 17th Floor


Members:

Letty Dewar (Chair), Jaqueline Allen, Larry Bates, Connie Craddock, Harold Geller,
Malcolm Heins, Ken Kivenko, Alison Knight, Louise Tardif


Invitees:

Kevan Cowan, CEO, Capital Markets Authority Implementation Organization
Grant Vingoe, Vice-Chair, Executive Office
Debra Foubert, Director, Compliance & Registrant Regulation
Kat Szybiak, Senior Legal Counsel, Compliance & Registrant Regulation
Jo-Anne Matear, Manager, Corporate Finance
Steven Oh, Legal Counsel, Corporate Finance
Oujala Motala, Accountant, Corporate Finance
Frank Allen, FAIR Canada
Marian Passmore, FAIR Canada
Tyler Fleming, Director, Investor Office
Denise Morris, Manager, Policy, Investor Office
Caroline Cakebread, IAP Consultant

Observers:

Paul Bates, Patti Best, Neil Gross, future IAP members
Frank Switzer, Chief Communications Officer, Capital Markets Authority Implementation Organization (for item #3)
Kevin Hoyt, Jason Alcorn, Susan Powell, Financial and Consumer Services Commission (via conference for item #4)


TIME

AGENDA ITEMS

PRESENTERS

9:30 – 9:45

1. Chair’s remarks (attachment)

Letty Dewar

9:45 – 10:15

2. Risk Profiling Project (attachment)

All members

10:15 – 11:00

3. CMRA Discussion (attachment)

Kevan Cowan

11:00 – 11:40

4. Best Interest Standard (attachment)

Grant Vingoe
Debra Foubert
Kat Szybiak

11:40 – 12:00

5. Climate Change Disclosure Review Project (attachment)

Jo-Anne Matear
Steven Oh
Oujala Motala

12:00

Lunch

12:30 – 1:15

6. Best Interest Discussion

Connie Craddock
Alison Knight

1:15 – 1:45

7. FAIR Canada Update (attachment)

Frank Allen
Marian Passmore

1:45 – 2:00

8. Investor Office Update

Tyler Fleming

2:00 – 2:30

9. Embedded Commissions – Post Roundtable (attachment)

Ken Kivenko
Letty Dewar

2:30 – 2:50

10. Other Business

a. Transparency

b. Sousa meeting

All members
Larry Bates
Harold Geller


FUTURE MEETINGS:

Thursday, October 19, 2017: 9:30am – 3:00pm Thursday, November 16, 2017: 9:30am – 3:00pm

Thursday, December 7, 2017: 9:30am – 3:00pm

2018 MEETING DATES:

Thursday, January 18, 2018: 9:30am – 3:00pm Thursday, February 15, 2018: 9:30am – 3:00pm
Thursday, March 15, 2018: 9:30am – 3:00pm Thursday, April 19, 2018: 9:30am – 3:00pm
Thursday, May 17, 2018: 9:30am – 3:00pm
Thursday, June 21, 2018: 9:30am – 3:00pm

Thursday, July 19, 2018: 9:30am – 3:00pm
Thursday, August 16, 2018: 9:30am – 3:00pm
Thursday, September 20 2018: 9:30am – 3:00pm Thursday, October 18, 2018: 9:30am – 3:00pm
Thursday, November 15, 2018: 9:30am – 3:00pm Thursday, December 6, 2018: 9:30am – 3:00pm